System and method for control of communications connections and notifications

ABSTRACT

A method of implementing call compliance at a central facility through account specific access, the method involving: receiving a call from a caller on an incoming connection; obtaining and verifying account information; enabling the caller on the incoming connection to initiate an outgoing call on an outgoing connection depending on account information; receiving over the incoming connection an identifier of a destination to which a call is to be initiated over the outgoing connection; checking a do-not-call database for an indication of whether the destination is a do-not-call destination; if it is determined that the destination is a do-not-call destination, blocking the outgoing call from taking place over the outgoing connection; and if it is determined that the destination is not a do-not-call destination, allowing the outgoing call to take place over the outgoing connection.

RELATED APPLICATIONS

This application is a continuation-in-part of application Ser. No.11/111,494 filed Apr. 21, 2005, which is a continuation-in-part ofapplication Ser. No. 11/021,564 filed Dec. 23, 2004, which is acontinuation-in-part of application Ser. No. 10/820,452 filed Apr. 8,2004. The entire teachings of the above applications are incorporatedherein by reference.

BACKGROUND OF THE INVENTION

Recently, federal and state solicitation laws and regulations havemandated that a consumer, who expresses a desire not to be solicited bytelephone or other electronic media such as electronic mail, not becalled or e-mailed. By regulation, such as the United States FederalTrade Commission's (FTC) Telemarketing Sales Rules (TSR), a businessmust maintain a list of telephone numbers for such consumers, known as a“Do-Not-Call” (DNC) list, and take appropriate measures to ensure thatoutgoing calls to telephone numbers on a DNC list are somehow blocked.The federal government is also considering the establishment of afederal “Do-Not-E-Mail” list to enable a consumer to prevent electronicmail solicitations.

The DNC lists can include one or more lists specific to a particularbusiness, as well as state-wide, national and industry-imposed listssuch as the Direct Marketing Association (DMA) Telephone PreferenceService (TPS) list. A single violation of a federal and/or State DNCregulation may result in a substantial fine. Thus, DNC compliancemanagement is a particularly critical and challenging issue forbusinesses that rely on telephone solicitations as a core marketingtool.

SUMMARY OF THE INVENTION

Systems exist for handling DNC compliance management as well as foraccommodating cases in which a blocked or prohibited number may bereached based on certain exemptions to the regulations.

Where small or geographically diverse companies have a number of agentsmaking calls from varying locations, the present invention provides acompliance solution for small or geographically diverse companies thatvalue the simplicity of a pre-paid service. Using a calling card (whichmay also be referred to as an access card), a company and/or independentagents may gain access to a compliance solution without the need toengage in a formal contracting process that is costly for both thecustomer and the service provider that are small or geographicallydispersed.

Accordingly, one aspect of the invention is a method and system ofproviding call compliance. An agent or caller accesses the system byinitiating a phone call over an incoming connection. The system receivesan identification number (including but not limited to ANI or PIN) fromthe caller on the incoming connection. The identification number is thenverified against an account database to evaluate corresponding accountinformation. Upon verification, the caller on the incoming connection isable to initiate an outgoing call on an outgoing connection based onaccount information. After receiving the destination number to which acall is to be initiated over the outgoing connection, the systemprovides call compliance treatment to the outgoing call to thedestination; and updates account information based on the outgoing call.In addition to call compliance, other embodiments of the presentinvention may provide controlled communications with existing businessrelationship as well as access to customer relations management systems.

The present invention provides certain improvements and advantages overthe prior art. In one aspect, the present invention provides a methodand system of selectively prohibiting a communications connectionbetween an origin and destination in a communications network based onone or more mediation rules and one or more lists of prohibited andexempted destination identifiers. The origin and destination may becommunications devices directly or indirectly connected to thecommunications network such as telephones, cellular telephones, personaldigital assistances, pagers, computers, computer client interfaces, orremote computer terminals.

In an embodiment, a connection unit may be used that receives orinitiates a request for a communications connection between an originand destination by sending a request to the control unit and receivingan order from the control unit to prohibit or allow the communicationsconnection based on the destination identifier. The connection unit maybe an Interactive Voice Response (IVR) application, a predictive dialerserver, a distributed predictive dialer system, a switch, router, or anelectronic mail server.

The connection unit typically provides a bridging capability toestablish a communications connection between an origin and destination.The destination identifier may be a communications device address suchas a domestic or international telephone number, Internet Protocoladdress, or an electronic mail address. “Prohibited” destinationidentifiers may be identifiers that have been designated by agovernmental authority, private organization, client, customer, or otherparty as blocked or prohibited from being connected to or contacted by aparticular client or all clients. “Exempted” destination identifiers maybe identifiers that have been designated by a governmental authority,private organization, client, customer, or other party as being exemptedfrom being a prohibited destination identifier.

The prohibited and exempted destination identifier lists may becontained within one or more tables of one or more databases. Also, thelists of prohibited destination identifiers may be derived from any oneor a combination of a Federal Do-Not-Call list, a State Do-Not-Calllist, a DMA Do-Not-Call list, a client internal list, a Very ImportantPerson list, and other defined lists. Furthermore, the lists of exempteddestination identifiers may be derived from any one or a combination ofan Existing Business Relationship (EBR) exemption list, Do-Not-Callexemption list, State Do-Not-Call exemption list, a VIP exemption list,and other exemption lists. The exemption lists may also contain any oneor combination of exemption key, type, and date of contact associatedwith each exempted destination identifier.

Mediation rules may be used to determine a sequence of comparisons madebetween a destination identifier and one or more lists of exempted andprohibited identifiers wherein each comparison with a list of exemptedidentifiers determines whether the comparison with an associated list orlists of prohibited destination identifiers is bypassed or ignored. Anassociated list of prohibited destination identifiers is “bypassed” whenthe comparison with the prohibited destination list is not performed. Anassociated list of prohibited destination identifiers is “ignored” whenthe comparison with the prohibited destination list is performed, but noaction to control the communications connection based on the result istaken. The result is only logged in an audit record for some otherpurpose such as record keeping or performing a statistical analysis ofthe control system. If the prohibited destination list is not bypassedor ignored, a comparison is performed, resulting in an action topossibly prohibit or allow the communications connection. The prohibitedand exempted destination lists may be modified from an origin or asecondary interface such as a World-Wide-Web (WWW) connection from aremote computer or an automated remote process from a client site.

The control unit may be a computer server that resides on the premisesof a client, a local exchange carrier, local administration facility,central administration facility, or other remote facility. The controlunit may interface with local prohibited and exempted destination lists.These local prohibited and exempted destination lists may beperiodically synchronized with other prohibited and exempted destinationlists that are remotely located at another facility such as a localadministration facility, local exchange carrier, central administrationfacility, or another facility.

The control unit may also be a software application within a remoteclient computer that accesses an internal or remote prohibited andexempted lists within a central administration facility.

The prohibited and exempted destination lists may be dynamically addedor removed and the mediation rules updated to flexibly adapt the systemto continuously support new connection prohibition rules. Also, multipledestination identifiers may be examined in relation to a particularorigin to determine whether to prohibit or allow communicationsconnections between the origin and each of the multiple destinations.For security reasons, each client user may be identified andauthenticated.

The control unit, based on the mediation rules, may also use additionalclient and customer information to determine whether to prohibit orallow a communications connection such as a client user identifier,client identifier, customer identifier, client office identifier,product identifier, geographic area, date, time, exemption typeduration, origin identifier, internal client criteria, or internalcustomer criteria. The control unit may also generate logs ofcommunications connections having prohibited, allowed, and improperdestination identifiers.

The present invention also includes an analysis system and method forselectively designating whether a communications connection between anorigin and one or more destinations are prohibited. The analysis systemtypically includes an interface unit that receives one or more proposeddestination identifiers, at least one list of prohibited destinationidentifiers, at least one list of exempted destination identifiers, andan analysis unit that designates whether the communication connectionbetween an origin and one or more proposed destinations are prohibitedor allowed based on one or more mediation rules and the list ofprohibited and exempted destination identifiers.

While the control unit provides real-time control of a communicationsconnection, the analysis unit performs a pre-check of one or moreproposed destination identifiers and generates a list that designateswhich destination identifiers are prohibited or allowed. A client useror agent may then review the list and decide which destinations tocontact. The analysis unit is likely preferred by small business clientswith a smaller customer base and less resources to contact customers.The analysis unit may reside at the central administration facility andbe remotely accessed by a client. Alternatively, the analysis unit maybe a computer application within a client's computer system thataccesses a remote or internal list of prohibited and exempteddestination identifiers.

Another embodiment includes a control system for selectivelyestablishing a communications connection between an origin anddestination within a communications network where the communicationsconnection is established by a connection unit that bridges a firstconnection with the origin with a second connection with thedestination. The system preferably includes at least one list ofprohibited destination identifiers, at least one list of exempteddestination identifiers, and a control unit that orders the connectionunit to establish the communications connection between the origin anddestination based on one or more mediation rules and the lists ofprohibited and exempted destination identifiers.

The control unit may also deliver one or more notification messages toeither or both the origin or destination. The notification messages maybe delivered to the origin from the connection unit using the firstconnection either before the communications are established with thedestination, during established communications with the destination, orafter communications have ended with the destination. The notificationmessages may also be delivered to the destination from the connectionunit using the second connection either before the communications areestablished with the origin, during established communications with theorigin, or after communications have ended with the origin.

The notification message may be any one or combination of an audiorecording, interactive voice response, human-initiated voice message,text message, electronic mail message, instant message, multimediamessage, IP-based message, audio tone, sequence of audio tones, visualindicator, or a graphical image. The notification message may indicateto the origin user which exemption is being applied by the system asdetermined by the mediation rules and at least one list of exempteddestination identifiers. The notification message may even requestinformation from either or both the origin or destination.

The notification message, however, may include information not based onthe mediation rules such as information derived from any one of orcombination of client-specific requirements, origin agent-specificrequirements, and destination user-specific requirements. Thenotification message may be delivered in-band through the connectionunit or out-of-band through some other media to the origin ordestination.

In yet another embodiment, the analysis unit may provide one or morenotification messages associated with the one or more proposedcommunication connections. When the interface unit delivers a certifiedlist of proposed destination identifiers to the analysis unit, theanalysis unit may designate prohibited and allowed destinationidentifiers and also send a designation list to the interface unit thatincludes one or more notification messages. These notification messagesare typically associated with particular destination identifiers andpreferably provide relevant information associated with the destinationidentifier. The analysis unit may also generate logs of alloweddestination identifiers and associated notification.

A further embodiment may be a notification system for deliveringmessages to an origin and destination of a communications connection ina communications network. The notification system may include aconnection unit that establishes a first connection with the origin anda second connection with the destination and bridges the first andsecond connections to establish a communications connection between theorigin and destination. The notification system also includes anotification unit that delivers at least one notification message toeither or both the origin and destination.

The notification messages may originate from the notification unit, arelationship management system, a control unit, or some otherinformation system.

BRIEF DESCRIPTION OF THE DRAWINGS

The foregoing and other objects, features and advantages of theinvention will be apparent from the following more particulardescription of preferred embodiments of the invention, as illustrated inthe accompanying drawings in which like reference characters refer tothe same parts throughout the different views. The drawings are notnecessarily to scale, emphasis instead being placed upon illustratingthe principles of the invention.

FIG. 1 is a schematic diagram showing a communications control systemaccording to the principles of the present invention;

FIG. 2 is a high level diagram of the databases of the communicationscontrol system;

FIG. 3 is a block diagram of a DNC database that stores and manages DNCdata for multiple clients;

FIG. 4 is a block diagram of a DNC database that stores and managesexemption data for multiple clients;

FIGS. 5A-5C is a flow chart of a procedure for prohibiting or allowing acommunications connection in accordance with principles of theinvention; and

FIG. 6 is a schematic diagram showing a communications control andnotification system according to the principles of the presentinvention.

FIG. 7 is a flow diagram illustrating a process of providingcommunications control treatment through calling card access accordingto an embodiment of the present invention.

DETAILED DESCRIPTION OF THE INVENTION

One embodiment of the present invention is a control system forselectively prohibiting a communications connection between an originand a destination in a communications network. FIG. 1 shows an exampleof a control system 100 interconnected with telecommunications network102, i.e., the Public Switched Telecommunications Network (PSTN), thatillustrates principles of the present invention. It is understood,however, that the present invention applies to any communications systemand, more particularly, to allowing or prohibiting a communicationsconnection between an origin and destination therein.

To selectively prohibit or allow a communications connection between anorigin 104 and destination 106, preferably in real-time or nearreal-time, a control unit 108 interfaces with a database 110,collectively referred to herein as a management unit 112. The origin 104and destination 106 are typically telephones, but may be other types ofcommunications devices such as cellular telephones, personal digitalassistances, pagers, computers, computer client interfaces, or remotecomputer terminals. Origin 104 and destination 106 may each be connecteddirectly or indirectly to PSTN 102. For example, origin 104-1 may beconnected through office private branch exchange (PBX) 120-1 to localexchange carrier network 122 which connects to local exchange carrierconnection unit 114-1, a telecommunications switch.

The database 110 may have one or more tables of prohibited and exempteddestination identifiers as shown in FIG. 2. The tables are shown inthree groups for descriptive purposes, but may be arranged in any orderor configuration. The DNC prohibited tables are tables that typicallyare the same for any client and include Federal DNC list 200, State DNClist 202, DMA DNC list 204, Wireless DNC list 205, and other DNC lists206. The client-specific prohibited DNC tables are typically unique toeach client and include Client DNC list 208, VIP DNC list 210, and otherDNC list 212. The exemption tables may include EBR exemption list 216,DNC exemption list 218, State DNC exemption list 220, VIP exemption list222, and other exemption lists 224. The destination identifier isusually a network address associated directly or indirectly with adestination communications device or a destination user. For example,the device address may be a telephone number for a device connected tothe PSTN 102, an Internet Protocol (IP) address for a device connectedto the Internet, or an electronic mail address for an Internetelectronic mail account in an electronic mail server.

Using one or more mediation rules and the lists of prohibited andexempted destination identifiers in database 110, control unit 108determines whether a communications connection between a particularorigin 104 and destination 106 is prohibited or allowed. To facilitate amore rapid response to a communications connection request, managementunit 112 may be mirrored at a client's local facility or local carrierexchange. For example, local management unit 112-1, comprising localcontrol unit 108-1 and local database 110-1, may control communicationsconnections established by connection unit 114-1, a telecommunicationswitch with Interactive Voice Response (IVR) 116. Another localmanagement unit 112-2, comprising local control unit 108-2 and localdatabase 110-2, may control communications connections established byconnection unit 114-2, which in this example is a predictive dialer formultiple origins 104 such as 104-9.

A central management unit 112-3, comprising control unit 108-3 anddatabase 110-3, may control communications connections. Centralmanagement unit 112-3 may interface with any connection unit 114 viaservice delivery network 118 or any other remote computer or interfacesuch as computer 126, management interface 124, and computer 130 vianetwork 134 which, in this instance, may be the Internet.

The control unit 108 may be a computer server or gateway that resides onthe premises of a client, a local exchange carrier, local administrationfacility, central administration facility, or other remote facility.Each control unit 108 and database 110 may be periodically synchronizedwith other control units 108 and databases 110 based on asynchronization mechanism described in International Patent ApplicationPCT/US03/19145, the entire contents of which are incorporated herein byreference. Local databases 110-1 and 110-2 are typically not as large as110-3 because the local databases may only need lists of prohibited andexempted destination identifiers specific to a local client whiledatabase 110-3 typically holds the lists for all clients. While thecontrol unit 108-1 interfaces with local prohibited and exempteddestination lists in database 110-1, control unit 108-1 may alsointerface with other prohibited and exempted destination lists in otherdatabases 110 being remotely located at another facility such as anotherlocal administration facility wherein database 110-2 may be located.Control unit 108-1 or other control units 108 may interface remotelywith databases 110 located in other locations such as a local exchangecarrier, central administration facility, or remote facility.

Central management unit 112-3 and local management units 112-1 and 112-2typically communicate with each other via Service Delivery Network 118which may be a private network, a virtual private network within theInternet, a wide area network, local area network, or the like. ServiceDelivery Network 118 preferably is protected from eavesdropping withadequate security mechanisms such as encryption and authentication.

While FIG. 1 illustrates local management units 112-1 and 112-2controlling the communications connection between an origin 104 anddestination 106 by interfacing with connection units 114-1 and 114-2respectively, either control unit 108 or both the control unit 108 anddatabase 110 may be incorporated into the functionality of anyconnection unit 114 such as connection units 114-1 and 114-2, effectingdirect control of the communications connection by the control unit 108.From another perspective, control unit 108 itself may establish thecommunications connection between an origin 104 and destination 106. Itmay, however, be more advantageous to utilize a separate management unit112 that interfaces with multiple connection units 114 to reduce theoverall cost of implementing communications connection controlthroughout a communications network.

In addition to being a telecommunications switch having an IVRapplication or a predictive dialer, connection unit 114 may be adistributed predictive dialer system, a router, a switch, electronicmail server, or a computer server such as a personal computer. Theconnection unit 114 generally acts as a bridging circuit to establish acommunications connection between an origin 104 and destination 106.Further details regarding the operation of the IVR application and itsinterfacing capabilities with management unit 112 are provided in U.S.Pat. No. 6,130,937, the entire contents of which are incorporated byreference. International Patent Application PCT/US03/19145 also providesadditional details regarding the use of an application specificinterface (API) and an exemplary network configuration to facilitatecommunications between connection unit 114 and management unit 112.

The connection unit 114 may receive or initiate a request for acommunications connection between an origin 104 and destination 106 thatincludes the destination identifier. For example, connection unit 114-1,typically uses IVR 116 to receive a call from an origin 104-1. Theclient user may use origin 104-1, e.g., a telephone, to dial a “1-800”number to obtain access to IVR 116. In an embodiment of the presentinvention, a unique authentication number can be used to provide accessto the communications control system and can represent unique serviceaccounts. For example, the accounts may be personal accounts forindividual business customers seeking to comply with the FederalDo-Not-Call database, or the accounts may represent corporate accountshaving access to a company's Do-Not-Call database as well as existingbusiness relationship database. The authentication number can be, forexample, a unique account number plus a Personal Identification Number(PIN). Alternatively, the client could be automatically authenticated byANI recognition of the originating number, the originating number havingbeen pre-registered to correspond to an account. Further, the accountnumbers can be provided on calling cards having machine readableinformation located on the card. The machine readable information canprovide identification for corresponding account activation by amachine.

The control unit 108-1 will then validate the client user, usingdatabase 110-1 as belonging to a particular office associated with theclient which can provide the appropriate communications controltreatment based on the account. If valid, IVR 116 may prompt the clientuser of origin 104-1 for a 10-digit destination telephone number tosubsequently place a call to a target customer 106-1. Once thedestination telephone number is received, typically usingdual-tone-multi-frequency (DTMF) detection, IVR 116 sends the calldestination telephone number to local management unit 112-1. Dependingon the mediation rules or account information which may specific to aparticular client, control unit 108-1 compares the destination telephonenumber to one or more prohibited and/or exempted destination telephonenumber lists in local database 110-1 and then orders connection unit114-1 to prohibit or allow the communications connection. The system mayalso provide clients with the ability to bypass the communicationscontrol system, if the account will be used to place a personal ornon-business outgoing call.

Once connected, IVR 116 will prompt the client user to enter a pinidentification number between 6-10 digits. The control unit 108-1 willthen validate the client user, using database 110-1 as belong to apeculiar office associated with the client. If valid, IVR 116 may promptthe client user of origin 104-1 for a 10-digit destination telephonenumber to subsequently place a call to a target customer. Once thedestination telephone number is received, typically usingdual-tone-multi-frequency (DTMF) detection, IVR 116 sends the calldestination telephone number to local management unit 112-1. Dependingon the mediation rules which are preferably specific to a particularclient, control unit 108-1 compares the destination telephone number toone or more prohibited and/or exempted destination telephone numberlists in local database 110-1 and then orders connection unit 114-1 toprohibit or allow the communications connection.

In this voice communications scenario, the lists of prohibiteddestination identifiers may be derived from any one or a combination ofa Federal DNC list 200, a State DNC list 202, a DMA list 204, a WirelessDNC list 205, a client internal list 208, or a Very Important Person(VIP) DNC list 210 as shown in FIG. 2. Other lists 206 defined byInternational, Federal, State, other governmental entities, tradeorganizations, associations, or private entities may also be included.Other client-specific lists 212 may further be included. In anelectronic mail scenario, the list of prohibited destination identifiersmay include a client do-not-email list, Domain Name List or IP addresslist.

The Federal DNC list 200 is typically a copy of the national Do-Not-Calllist maintained by the FTC and enforced by the FTC, FederalCommunications Commission (FCC), and States officials. Preferably, thelist 200 is stored locally in database 110-1 to reduce possible querylatencies, but may be accessed remotely by control unit 108-1 fromcentral database 110-3 or even from a database maintained by the FTC,FCC, or other entity via the Internet or the like.

The state DNC list 202 may include multiple lists with each listassociated with a particular state. Depending on the mediation rules, asdefined by the client, control unit 108 may check one state, multiplestates, or no state list for prohibited destination numbers. The DMA TPSlist 204 is typically derived from a DMA-maintained do-not-call listwhich is required by certain states to be checked by telemarketersbefore calling a target customer. The DMA TPS list currently has morethan 8 million destination telephone numbers. A Wireless DNC list 205may be implemented that contains, for example, a list of cellulartelephone or other wireless device addresses such as a telephonenumbers, e-mail addresses, IP addresses, or domain name addressesassociated with one or more groups of wireless devices.

The client internal DNC list 208 may be a client-specific list thatincludes destination telephone numbers of customers that have explicitlynotified the client that they do not want to be solicited. Clientinternal DNC list 208 generally trumps all other lists or exemptions.The VIP list 210 may be a client-specific list typically of high valuecustomers that the client does not want general client users or brokersto contact. The other client-specific DNC lists 212 may include a listof states or area codes associated with a particular agent that areprohibited or blocked from contact by the agent. The otherclient-specific DNC lists 212 may also include lists of area codesassociated with particular client offices which are prohibited fromcontact by the office. The client agent or office restrictions allow aclient to possibly prevent agents from different offices in differentgeographic locations from calling the same customers in a particularstate or area code.

The lists of exempted destination identifiers may be derived from anyone or a combination of an Existing Business Relationship (EBR)exemption list 216, DNC exemption lists 218, State DNC exemption lists220, a VIP exemption list 222, or other exemption lists 224.

The EBR exemption list 216 is typically a client-specific list ofdestination identifiers of customers that may be contacted even thoughtheir destination number is contained within DNC list 200, State DNClist 202, or DMA DNC list 204. Under certain condition, depending on theexisting business relationship between the client and a customer,certain federal and state regulations allows a particular client tocontact a customer even though the customer's destination number isincluded within list 200, 202, or 204. The EBR list may include, but notbe limited to, the following categories:

-   -   1. Purchased—Indicates that a customer has purchased a product        from the client. Calls to these customers are permitted within        the duration specified in the regulations.    -   2. Leased—Indicates that a customer has leased a product from        the client. Calls to these customers are permitted within the        duration specified in the regulations.    -   3. Rented—Indicates that a customer has rented a product from        the client. Calls to these customers are permitted within the        duration specified in the regulations.    -   4. Financial Transaction—Indicates that a customer has engaged        in a financial transaction with the client. Calls to these        customers are permitted within the duration specified in the        regulations.    -   5. Inquiry—Indicates that a customer has made an inquiry with        the client. Calls to these customers are permitted within the        duration specified in the regulations.

Each of these exemptions may be defined by federal regulations and somestates that have EBR regulations. Clients are typically required tochoose which of these exemptions the control system 100 willsupport/elect. Clients typically provide a list of exempted destinationidentifiers along with the exemption type to a control system 100administrator who enters the destination identifiers into the EBRexemption list 216 via interface such as management interface 124 or canbe loaded by automated process from a remote client site or sites.Information included within EBR exemption list 216 may include any oneor a combination of an exemption key, exemption type, and date ofcontact associated with each exempted destination identifier.

The EBR exemption key may be an integer associated with a category ofEBR exemption. For example, the “Purchased” EBR exemption may have akey=1 as shown above while the “Inquiry” EBR exemption may have an EBRexemption key=5. The date of contact may be stored with the destinationidentifier in EBR exemption list 216 to enable control unit 108 todetermine the duration of time in which a particular EBR exemption maybe applied. For example, if a customer made an inquiry to the client ona certain date, federal or state regulations may allow the client toapply the exemption and override the Federal DNC list 200, State DNClist 202, or DMA DNC list 204 for a period of 30 days from the date ofcontact. The duration of each EBR exemption may be different or vary,requiring the use of an EBR exemption key, associated with each exempteddestination number, to determine which EBR exemption applies and forwhat duration of time that EBR exemption is valid. Thus, the EBRexemption key and date of contact may be used by control unit 108 toidentify a particular EBR exemption category and determine whether toapply the EBR exemption, depending on the duration that the exemption isvalid from the date of contact.

The DNC exemption lists 218 may be client-specific or agent-specificlists of destination identifiers including, but not limited to, thefollowing categories:

-   -   Prior Express Permission—When a customer of a client        specifically gives permission to be contacted, the customer's        destination identifier, e.g., telephone number, is recorded into        database 110, allowing the customer to be contacted by the        client. This category may be enabled or disabled by the client        using a management interface 124.    -   Survey—When a customer responds to a client survey, the        customer's destination identifier, e.g., telephone number, may        be recorded into database 110, allowing the customer to be        contacted by the client. This category may be enabled or        disabled by the client using a management interface 124.    -   Personal Relationships—This category allows a client agent to        designate certain destination identifiers as their “Friends and        Family.” Thus, allowing control unit 108 to bypass all DNC        restrictions and allow communications connections to the        designated destination identifiers. The destination identifier        may be added to a personal relationship DNC exemption list 218        via the IVR 116 interface by the client agent or using a WWW        interface from management interface 124 or some other remote        computer connection to management unit 112. This category may be        enabled or disabled by the client using management interface        124.

The State DNC exemption list 220 may be a client-specific list of flagsassociated with enabling or disabling State call curfews, Intrastatecalls, Federal DNC list 200, State DNC lists 202, and DMA DNC list 204.The State DNC exemption list 220 may include, but not be limited, to thefollowing:

-   -   Federal flag—this flag setting allows the client to set control        unit 108 to ignore checking federal DNC list 200. The setting        may be enabled or disabled by the client using management        interface 124.    -   State flag—this setting allows the client to set control unit        108 to ignore state DNC list 202 for a particular state. Each of        the 50 possible states may be individually ignored. The setting        may be enabled or disabled by the client using management        interface 124.    -   DMA flag—this setting allows the client to set control unit 108        to ignore DMA DNC list 204. The setting may be enabled or        disabled by the client using management interface 124.    -   Intrastate flag—this exemption enables control unit 108 to allow        intrastate communications connections to an individual state.        For example, if a client believes they are entitled to an        exemption allowing them to call into a state (i.e., origin and        destination identifiers, e.g., telephone numbers, are from        different states), the client may set this option to enable        control unit 108 to override any other intrastate restrictions        imposed by a state DNC list 202 or other list. The setting may        be enabled or disabled by the client using management interface        124.    -   State Call Curfew flag—this exemption may allow control unit 108        to ignore the curfew restrictions associated with a particular        state while following the federal call curfew rules. A call        curfew may only allow communications connections within a        designated time period such as 9 a.m. to 6 p.m. The federal call        curfew rules may be more liberal than the curfew rules in        certain states. Thus, the client has the option to follow the        more liberal federal rules. The setting may be enabled or        disabled by the client using a management interface 124.

The High Value customer (VIP) exemption list 222 may be a agent-specificlist of destination identifiers that allows certain agents of a clientto establish a communications connection with certain VIP clients. Asstated previously, control unit 108 uses VIP DNC list 210 to prohibit acommunications connection by agents of a client to certain VIP clientswhose destination identifiers are contained in VIP DNC list 210. VIPexemption list 222 enables control unit 108 to bypass the VIP DNC list210 check for a particular agent and allow that agent to contact the VIPcustomer. The destination identifiers may be stored in database 110 bythe client using management interface 124. The VIP exemption list 222check may also be enabled or disabled by the client at managementinterface 124.

Database 110 may also include other exemption lists 224 such as aFederal Grace Period List that defines a grace period wherein newlyadded destination identifiers to the Federal DNC list 200 may becontacted if they were added during the grace period. For example, thegrace period may vary between 0 and 90 days. Control unit 108 may checkthe other exemption lists 222 such as the Federal Grace Period listdepending on whether the check is enabled or disabled by the clientusing a management interface 124.

While the foregoing lists may preferably be implemented as tables withina database such as databases 110, the lists may also be distributedthroughout multiple databases or multiple tables within multipledatabases. Also, the prohibited and exempted destination lists withindatabases 110 may be modified by an agent via an origin 104 using IVR116. Furthermore, the prohibited and exempted destination lists may bemodified from a secondary interface such as management interface 124 oranother remote connection to management units 112, typically using a WWWpage interface by an agent or administrator.

Having described the various prohibited and exempted destination listsand other exemption lists in the foregoing, the mediation rules used bycontrol unit 108 are now further described. These mediation rulespreferably determine whether certain prohibited destination identifierlists are checked by control units 108 or bypassed (or ignored) based onwhether certain exempted destination lists or exemption lists are usedby control units 108. As described above, the client preferablyconfigures control units 108 to use any combination of DNC lists and/orexemption lists within databases 110. Basically, the mediation rulesdetermine the sequence of comparisons made by control units 108 betweena destination identifier and one or more lists of exempted andprohibited identifiers. In that sequence, each comparison with a list ofexempted identifiers by control units 108 determines whether acomparison with an associated list or lists of prohibited destinationidentifiers is bypassed or ignored.

For example, before comparing a destination identifier with Federal DNClist 200, State DNC lists 202, and DMA DNC list 204, control unit 108typically compares the destination number with EBR exemption list 216.If there is a match with EBR exemption list 216, control unit 108bypasses or ignores the result of the comparison with Federal DNC list200, State DNC lists 202, and DMA DNC list 204. If the client, however,has configured the mediation rules to not use EBR exemption list 216,the control unit 108 compares the destination identifier to the FederalDNC list 200, State DNC lists 202, and DMA DNC list 204. Similarly, VIPexemption list 222 may be checked before control unit 108 checks VIP DNClist 210 to determine whether the VIP DNC list 210 check is bypassed orignored. The DNC exemption list related to “Friends and Family” may bechecked by control unit 108 to determine whether to bypass all other DNClists. State DNC exemption list 220 may be checked prior to checking aparticular State DNC list 202 to determine whether control unit 108bypasses the particular State DNC list 202. Other check and bypassscenarios are possible depending on the mediation rules. Thus, themediation rules, which are configured by the client, determine thesequence in which DNC lists may be bypassed or checked by control unit108 in order to prohibit or allow a communications connection between anorigin 104 and destination 106. FIG. 5, which will be discussed indetail later, provides a further illustration of the mediation rules.

In addition to being configured based on mediation rules that determinewhich prohibited and exempted destination lists or other exemptions areused, control unit 108 may use other information such as a client useridentifier, client identifier, customer identifier, client officeidentifier, product identifier, geographic area, date, time, exemptiontype duration, origin identifier, internal client criteria, or internalcustomer criteria to determine whether a particular comparison with aprohibited or exempted destination list or other exemption list isnecessary. In other words, control unit 108 may utilize additionalinformation in conjunction with the prohibited and exempted destinationlists of database 110 to prohibit or allow a communications connectionto occur between an origin 104 and destination 106.

For example, a client agent may present a client user identifier with apassword to enable control unit 108 to identify and authenticate theagent's access to the system. The client user identifier may also beused by control unit 108 to determine which particular DNC exemptionlist 218 to check for “Friends and Family” or which VIP exemption list222 to check in order to determine whether the communications connectionto a high value client should be allowed. Control unit 108 may alsocheck the dialed number (DNIS) or origin identifier, e.g. telephonenumber, using Automatic Number Identification (ANI) to determine whethera particular agent is prohibited from making a communication connectionwith a destination having a particular area code according to DNC list212. The client office identifier, which may also be determined by agentinput from an origin 104 or automatically using ANI, may also be used,based on the mediation rules, to check DNC list 212 to determine whethera destination number is restricted.

FIGS. 3 and 4 show an exemplary internal organization of databases 110,which store client-specific specific information, individual office andagent details for each office assigned to the client, and commoninformation for each client of control system 100. Each client isassigned a unique client key that identifies that client to controlunits 108. Individual client offices may also be assigned a uniqueoffice key. Furthermore, each client user or agent may be assigned aunique Personal Identification Number (PIN) and unique client user key.The client key, office key, and user key enable control units 108 toassociate the proper prohibited and exempted destination lists to theproper client, client user, or office.

FIG. 3 shows the table organization of the data structure of databases110 in which the prohibited destination lists are stored. The tablesshown are described as follows:

tbl_Clients: a table of all clients using control system 100 includinginformation about each client.

tbl_SystemUsers: a table of all individual users of control system 100including client users or agents and administrators.

tbl_OfficeAgents: a table of all brokers. This table indicates whetherthe agent is part of a team, active, and online.

tbl_Active IVRAgents: a table of all agents currently signed on via IVR116.

tbl_BlockedAgentStates: a table that enables control unit 108 toprohibit certain agents from calling certain states listed in the table.

tbl_BlockedAreaCodes: a table that enables control unit 108 to prohibitcertain agents from calling certain area codes.

tbl_ClientOffices: a table of offices assigned to a particular client.

tbl_CCenterDNCEntries: a table that lists the prohibited destinationidentifiers for a particular call center.

tbl_ClientDNCCallEntries: a table that lists the prohibited destinationidentifiers for a particular client 208.

tbl_CallDetails: a table that stores details associated with each callto enable logging or auditing.

tbl_CallCenterDNCQueue: a table that stores the database changes thatmust be sent to other management units 112.

tbl_DMALIST: a table that stores the DMA DNC list 204.

tbl_DNCSTATELIST: a table that stores the state DNC lists 202.

tbl_RegulatoryDNCList: a table containing Federal DNC list 200.

tbl_CellularExchanges: a table that stores the standard identified rangeof cell phone numbers 226.

tbl_PortedLTW: a table that stores phone numbers which have been portedto a cell phone device 228.

FIG. 4 shows the table organization of the data structure of databases110 in which exempted destination identifiers are stored. The tablesshown are described as follows:

tbl_Clients: a table of all clients using control system 100 includinginformation about each client (same as in FIG. 3).

tbl_Ebr_Exemptioninfo: a table that stores the durations associated witheach category exemption.

tbl_Ebr_ClientExemptions: a table that stores exemptions associated witha particular client.

tbl_Ebr_ClientStateExemptions_Audit: a table that stores an audit recordof exemptions associated with State DNC exemption list 220.

tbl_Ebr_ClientExemptions_Audit: a table that stores an audit record ofexemptions associated with DNC exemption list 218.

tbl_Ebr_Exemptions: a table that describes the EBR exemption of EBRexemption list 216.

tbl_Ebr_ClientExemptionNumbers: a table that stores the list ofdestination identifiers in EBR exemption list 216 including theexemption key and date of contact information.

tbl_Ebr_ClientStateExemptions: a table that stores the exemption listedin State DNC exemption list 220 associated with a particular client.

tbl_ClientDNCExemptions: a table that stores the DNC exemption list 218associated with a particular client.

tbl_EBRExemptions: a table that describes that State EBR exemptions.

tbl_Products: a table that describes a product associated with aparticular client.

tbl_ClientProducts: a table that associates a product key to aparticular client.

tbl_ClientWhispers: a table that stores client specific whisper messages230.

tbl_Whispers: a table that stores system defined whisper messages 232.

As shown above, the databases 110 are configured using tables such thatprohibited and exempted destination lists may be dynamically added orremoved. For example, new EBR exemptions may be added totbl_Ebr_Exemptions with minimal or no modifications to other tableswithin databases 110. Such flexibility to enable databases 110 updatesalso allows the mediation rules to be flexibly adapted to continuouslysupport new connection prohibition rules.

Referring again to FIG. 1, the functionality of control units 108 andassociated databases 110 may also be implemented as a softwareapplication within a remote client computer 126. Alternatively, onlycontrol unit 108 may be implemented within client computer 126 while itremotely accesses the prohibited and exempted destination lists withindatabase 110-3, located in a central administration facility.Furthermore, computer 126 may act as a remote interface to anymanagement unit 112. The lower cost implementation may be attractive tocertain clients that may not be concerned with the possible latency inaccessing database 110-3. In this scenario, client computer 126 acts asboth a connection unit and control unit by allowing or prohibiting acommunications connection between, for example, origin 104-6 and 106-1based on the prohibited and exempted destination lists within aninternal database 110, or within central database 110-3, or withinanother remote database. Computer 126, acting as a control unit, mayalso control the communications connection between origin 104-6 anddestination 106-5 which could be a Voice-over-IP (VoIP) connection.

With regard to any control unit 108, it is understood that a pluralityof destination identifiers may be examined in relation to a particularorigin to determine whether to prohibit or allow a communicationsconnection between a particular origin such as origin 104-2 and eachdestination of the plurality of destinations 106. Thus, control units108 may be continuously processing communications connection requests asthe client agent attempts to make new contacts with new customers.

Another feature of control system 100 is that management units 112 maymaintain audit records of communications connections whether theconnection is prohibited or allowed. Instead of simply bypassing aparticular check if an associated exemption list check has a match to adestination identifier, control units 108 may perform the check, butonly log the results. These logs of prohibited, allowed, and improperdestination identifiers may be stored for later analysis or otherpurposes. The logs may be stored as a flat, excel, or dbf file or thelike.

According to the foregoing, the present approach provides a method ofselectively prohibiting a communications connection between an originand destination in a communications network. The method includesreceiving or initiating a connection request for a communicationconnection between an origin 104 and destination 106 that includes thedestination identifier and prohibiting or allowing the requestedcommunications connection based on one or more mediation rules and listsof prohibited and exempted destination identifiers in databases 110.

FIGS. 5A-5C illustrate one example process for selectively prohibiting acommunications connection between, for example, origin 104-1 anddestination 106-1 in a telecommunications network using PSTN 102 whereinorigin 104-1 is a telephone having a user interface that accepts voiceand dialed digits from a client agent. Initially, the agent calls IVR116 at connection unit 114-1 to establish a communications connectionwith a connection unit 114-1 (Step 500). Connection unit 114-1 theninteracts with a control unit 108-1 to validate the dialed number usingDNIS. Upon successful validation by control unit 108-1, connection unit114-1 prompts the client agent for identification and authenticationinformation (Step 502). The prompt may be a voice recording orparticular tone. Once prompted, the agent enters the identification andauthentication information such as an agent identifier and PIN or clientoffice identifier. Again, control unit 108-1 validates theidentification and authentication information. Upon successfulvalidation by control unit 108-1, IVR 116 of connection unit 114-1prompts the agent for the destination telephone number. Further detailsregarding the initial steps of this process are provided inInternational Patent Application PCT/US03/19145. The client agent entersthe digits associated with a destination telephone number (Step 504).The connection unit 114-1 then sends the destination telephone number tothe control unit 108-1 (Step 506). Control unit 108-1 verifies that thedialed area code of the destination telephone number is valid andretrieves client-specific mediation rules (Step 508).

Control unit 108-1 prohibits or allows the communications connectionbased on the mediation rules, one or more prohibited destination numberlists, and one or more exempted destination number lists, by sending aprohibit or allow order to the connection unit 114-1 based on thefollowing sequence of checks. The destination telephone number iscompared with client DNC list 208. If there is a match, control unit108-1 orders connection unit 114-1 to prohibit the call (Step 510). Ifthere is no match, the destination telephone number is compared with EBRexemption list 216 (Step 512). If there is a match, the EBR exemptionkey is checked to determine the category of exemption and the durationof time that the category of exemption is valid (Step 514). Control unit108-1 also checks the date of contact and compares it with the currentdate to determine whether the exemption duration has expired. If theduration has expired, control unit 108-1 returns to checking theFederal, State, and DMA DNC lists. If the duration has not expired,control unit 108-1 either ignores or bypasses the checks of the Federal,State, and DMA DNC lists (Step 516).

If the destination telephone number does not match a number in EBRexemption list 216, the destination telephone number is compared withthe Federal DNC list 200 (Step 518). If there is a match, the call isprohibited. If there is no match, the destination telephone number iscompared with the designated state lists with State DNC list 202 (Step520). If there is a match, the call is prohibited. If there is no match,the destination telephone number is compared with the DMA DNC list 204(Step 522). If there is no match, the destination telephone number iscompared with VIP exemption list 222 (Step 524). The VIP exemption listmay be agent specific. If there is a match, the VIP DNC check isbypassed or ignored. If there is no match, the destination telephonenumber is compared with the VIP DNC list 210 (Step 526). If there is amatch, the call is prohibited. If there is no match, the destinationtelephone number is compared with a Federal Curfew to determine whetherthe time of day (TOD) of the current call is within the federalgovernment curfew times at the destination (Step 528). If the StateCurfew were selected in the mediation rules, a State curfew check wouldhave been made also. If the time is inside the allowed curfew period,for example 9 a.m. to 7 p.m., the call is not prohibited and otherexemption checks or do-not-call checks may be made as defined by themediation rules (Step 530).

Once control unit 108-1 completes all comparisons of the destinationtelephone number based on the mediation rules and the destination numberhas been allowed, control unit 108-1 orders connection unit 114-1 toallow the communications connection whereupon IVR 116 of connection unit114-1 initiates a communications connection to destination 106-1 usingthe destination telephone number (Step 534). Connection unit 114-1,using IVR 116, then bridges the call from origin 104-1 with the call todestination 106-1 (Step 536). After the call is completed, IVR 116 mayaccept field status codes or manual entry of a prohibited destinationtelephone number for addition to client DNC list 208 (Step 538). Furtherdetails regarding the status codes or manual entry are provided inInternational Patent Application PCT/US03/19145.

If control unit 108-1 completes all comparisons of the destinationtelephone number based on the mediation rules and determines that thecommunications connection is prohibited, control unit 108-1 orders IVR116 of switch 114-1 to end or disconnect the communications connectionwith origin 104-1. Instead of ending the connection with origin 104-1,IVR 116 may notify the client agent at origin 104-1 that the call isprohibited and prompt the agent for entry of another destinationtelephone number. The next destination telephone number may then bechecked using the process described above.

The preceding steps associated with a call initiated to IVR 116 aresimilar to the steps involving a predictive dialer such as connectionunit 114-2. A predictive dialer is a device or system that continuouslyinitiates calls to destinations 106 and establishes a connection with anorigin such as origin 104-9 only after establishing a connection with adestination such as 106-1. Thus, as shown in FIG. 5A, connection unit114-2, a predictive dialer, initially selects a destination telephonenumber (Step 501). Connection unit 114-2 then sends the destinationtelephone number to control unit 108-2 for permission to prohibit orallow a communications connection between, for example, origin 104-9 anddestination 106-1. Control unit 114-2 then performs the same or similarsequence of checks as control unit 114-1 performed previously toprohibit or allow the communications connection between origin 104-1 and106-1. If the destination telephone number is allowed, control unit108-2 orders connection unit 114-2 to allow the communicationsconnection between origin 104-9 and destination 106-1.

Connection unit 114-1 then initiates a call to destination 106-1 usingthe destination telephone number (Step 533). If connection unit 114-2detects a “Hello” from destination 106-1, connection unit 114-2establishes a second connection with origin 104-9 (Step 535). Connectionunit 114-2 then bridges the connections with origin 104-9 and 106-1 toestablish a communications connection between them.

Referring again to FIG. 1, as an alternative approach to performingreal-time or near real-time call control as described above, an analysissystem may be used to selectively designate whether a communicationsconnections between an origin and one or more destinations areprohibited. The analysis system typically includes an interface unitthat receives one or more proposed destination identifiers. The analysissystem also includes at least one list of prohibited destinationidentifiers, at least one list of exempted destination identifiers, andan analysis unit 128 that designates whether the communicationconnection between an origin and one or more proposed destinations areprohibited or allowed based on one or more mediation rules and the listof prohibited and exempted destination identifiers.

The functional capabilities of analysis units 128 may be identical tocontrol units 108 except that analysis units 128 do not control acommunication connection or connection units 114. In fact, control units108 may also function as analysis units. Instead of performing areal-time action, analysis units 128 may designate which destinations106 may be connected with which origins 104. This designation ofprohibited or allowed communications connections may entail analyzing acertified list of proposed destination identifiers delivered to theanalysis unit via an interface unit such as personal computer 130.Computer 130 may also have an application that streamlines theinformation sent to analysis unit 128-1 such that private informationassociated with a destination is not potentially exposed in transmissionto analysis unit 128-1. The interface unit could also be a ftp server,an database connection, a remote terminal connection, a WWW page, orInteractive Voice Response connection residing within analysis unit128-1 or another server such as communications server 132.

After designating which communications connections are prohibited andallowed, analysis unit 128-1 may send a designation list to the clientcomputer 130. Alternatively, analysis unit 128-2 may be implemented as asoftware application within a remote client computer 130. Thus, analysisunit 128-2 remotely accesses the prohibited and exempted lists ofdatabase 110-3 within a central administration facility. Personalcomputer 130 may also contain a database 110 that eliminates the needfor analysis unit 128-2 to remotely access other databases such asdatabase 110-3.

According to the foregoing, the present approach provides a method ofselectively designating whether communications connections between anorigin and one or more destinations in a communications network areprohibited. The method includes receiving one or more destinationidentifiers and designating whether the communications connectionbetween the origin 104 and one or more destinations 106 are prohibitedor allowed based on one or more mediation rules and lists of prohibitedand exempted destination identifiers.

Referring to FIG. 6, another embodiment includes a control system 100for selectively establishing a communications connection between anorigin 104 and destination 106 within a communications network includingtelecommunications network 102 where the communications connection istypically established by a connection unit 114 that bridges a firstconnection with the origin 104 with a second connection with thedestination 106. The system preferably includes at least one list ofprohibited destination 106 identifiers, at least one list of exempteddestination 106 identifiers, and a control unit 108 that orders theconnection unit 114 to establish the communications connection betweenan origin 104 and destination 106 based on one or more mediation rulesand the lists of prohibited and exempted destination 106 identifiers.

The control unit 108 may also deliver one or more notification messagesto either or both an origin 104 and destination 106. The notificationmessages may be delivered to an origin 104 from a connection unit 114using the first connection either before the communications areestablished with the destination 106, during established communicationswith the destination 106, or after communications have ended with thedestination 106. The notification messages may also be delivered to adestination 106 from a connection unit 114 using the second connectioneither before the communications are established with an origin 104,during established communications with an origin 104, or aftercommunications have ended with an origin 104. The notification messagemay indicate to the origin 104 user which exemption is being applied bythe control system 100 as determined by the mediation rules and at leastone list of exempted destination 106 identifiers.

For example, a client agent may initiate a call to IVR 116 of connectionunit 114-1 in order to reach a contact user of destination 106-1. Afterthe communications connection between origin 104-1 and connection unit114-1 is established, control unit 108-1 typically determines whether toallow the communications connection with a particular destination 106-1based on the mediation rules. If, for instance, control unit 108-1determines that an EBR exemption such as a prior “purchase” by thecontact applies, even though the destination 106-1 identifier is on thefederal DNC list 200, connection unit 114-1 via IVR 116 may deliver anaudio recording to origin 104-1 stating that “The contact is on theFederal DNC list, but the call is allowed based on a prior purchase.”The message may even specify the purchased item, location of purchase,and purchase date. After the message is played, connection unit 114-1may then initiate a second communications connection with destination106-1. This capability, otherwise known as a “whisper” feature,advantageously prepares an agent for a possibly negative query from thecontact for an explanation as to why the agent may not be adhering to afederal, state, or other DNC law.

Because IVR 116 typically has separate, i.e., first and second,connections with origin 104-1 and destination 106-1, an audio or othertype of message may be delivered to origin 104-1 without the messagebeing detected by the contact user of destination 106-1, even while thefirst and second connection are bridged together by connection unit114-1. Thus, the previous message may be delivered to origin 104-1 afterconnection unit 114-1 bridges the first and second connections.

For the period of time that the first connection exists between origin104-1 and connection unit 114-1, notification messages may be sent toorigin 104-1. For the period of time that the second connection existsbetween connection unit 114-1 and destination 106-1, notificationmessages may be sent to destination 106-1. Thus, even if one of the twoconnections ends, the other connection may allow notification messagesto be sent.

For example, after a contact user of destination 106-1 completes a callwith an agent or even during the communications connection, anotification message may be sent to the destination 106-1 that states“Please rate your experience with this agent on a scale of one throughfive with five being the highest.” IVR 116 may use a DTMF detector thatcaptures the digit pressed by the contact user at destination 106-1 inresponse to the notification message query. A notification message mayrequest information from either or both the origin 104-1 or destination106-1. Thus, one or more notification messages may initiate or be partof an interactive information exchange process.

The notification message may be any one or combination of an audiorecording, interactive voice response, human-initiated voice message,text message, electronic mail message, instant message, multimediamessage, IP-based message, audio tone, sequence of audio tones, visualindicator, or a graphical image. For instance, a VoIP-capable origin 104may have a graphical user interface (GUI) that allows notificationmessages to be received as text messages, Hypertext Markup Language(HTML) pages or Extensible Markup Language (XML) data while alsoreceiving audio notification messages. Certain origin 104 devices mayhave light emitting diode (LED) panels that may provide a notificationmessage in the form of a visual indicator to the agent user of theorigin 104 device.

A notification message, however, may include information not based onthe mediation rules such as information derived from any one of orcombination of client-specific requirements, origin agent-specificrequirements, and destination user-specific requirements. Becausecontrol units 108 typically verify the identity of an agent user of anorigin 104, notification messages may be tailored to informationassociated with the agent. For example, when an agent using an origin104 initiates a communications connection request and the connectionbetween an origin 104 and connection unit 114 is established, a controlunit 108 may send agent-specific information to the origin 104 such as ameeting alert with the agent's supervisor, amount of contact calls made,reminder to update the agent's password, etc. . . . . The amount andtype of messages is dependent on the agent and his company's needs. Avariety of messages may be available to destination 106 contacts toenable evaluation of agents, provide disclaimers automatically, orpossibly deliver targeted advertisements.

The notification message may be delivered in-band through a connectionunit 114 or out-of-band through some other medium to an origin 104 ordestination 106. While in-band typically applies to notificationmessages sent within a circuit-switched connection, it also applies, inthis embodiment, to notification messages sent to origins 104 anddestinations 106 using the same medium through which the communicationsare being exchanged between an origin 104 and destination 106. On theother hand, an out-of-band notification message may be sent to an origin104, for example origin 104-6 using another medium than thecommunications connection medium being use between the origin 104-6 anda destination 106 such as 106.1. For example, if origin 104-6 anddestination 106-1 have established a telecommunications connection,control unit 108-2 may send an out-of-band notification message in theform of an IP-based Extensible Markup Language (XML) data message viaservice delivery network 118, communications server 132, Internet 134,and personal computer 126, assuming that origin 104-6 also has atext-capable GUI and Internet 134 connectivity.

In yet another embodiment, an analysis unit 128 may provide one or morenotification messages associated with one or more proposed communicationconnections. When an interface unit such as personal computer 130delivers a certified list of proposed destination 106 identifiers toanalysis unit 128-2, analysis unit 128-2 may designate alloweddestination identifiers and return a designation list to personalcomputer 130 that includes one or more notification messages. Thesenotification messages are typically associated with particulardestination 106 identifiers and preferably provide relevant informationassociated with each destination 106 identifier. For example, thedesignation list may have a remarks column that includes notificationmessages, each notification message being associated with a particulardestination 106 identifier on the designation list. Thus, when an agentattempts to solicit a contact, the agent may read the remarks column todetermine which exemption is being used to allow the proposedcommunications connection. An analysis unit 128 may also generate logsof allowed destination 106 identifiers and associated notificationmessages with each destination 106 identifier.

A further embodiment may be a notification system for deliveringmessages to an origin 104 and destination 106 of a communicationsconnection in a communications network including telecommunicationsnetwork 102. The notification system may include a connection unit 114that establishes a first connection with an origin 104 and a secondconnection with a destination 106 and then bridges the first and secondconnections to establish a communications connection between aparticular origin 104 and destination 106. The notification system mayalso include a notification unit 140-1 that delivers at least onenotification message to either or both an origin 104 and destination106. For example, when an agent initiates a communications connectionusing origin 104-1 with IVR 116, notification unit 140-1 may send anotification message associated with a particular destination 106 suchas destination 106-4 to origin 104-1 via IVR 116 of connection unit114-1 in the form of an audio message that states “The contact is a VIPcustomer.” Notification unit 114-1 may interface with a database such asdatabase 112-3 to determine the destination 106-4 status, but may notcontrol the communications connection as a control unit 108 such ascontrol unit 108-1.

FIG. 7 illustrates a scenario that defines the call flow according tothe principles of an alternate embodiment of the present invention:

A customer dials into the system using the access number provided, suchas a 1-800 number 3001.

At 3010, the system determines whether the incoming call is from apre-registered ANI. If the user is calling from a pre-registered ANInumber 3012, the user is considered authenticated and moves on to step3030. If the user is not calling from a pre-registered ANI number 3014,the user is prompted to enter their account number PIN forauthentication, 3020. After the user enters the account number and PIN3022, the user moves to step 3030.

At 3030, the user account is checked. If the account is active (notsuspended or terminated) 3034, the user is allowed to proceed to thenext step in the call process 3040. If the account is suspended 3036, anannouncement may be played to notify the user that the account issuspended and that the user should visit a web page to re-activate theaccount 3050. If the account is terminated 3032, an announcement may beplayed to notify the user that the account is not valid 3060.

Once the account is found active, at 3040 the user may be prompted toenter the type of call (e.g. controlled call, non-controlled call). Oncethe user enters the type of call, they may now be considered connectedto the system, and service usage or connectivity charges may begindepending on the type of call selected.

At 3070, the user is prompted to enter a phone number to be called. Ifthe user had previously opted to make a non-controlled call 3074, thephone call is allowed 3080. If the user had previously opted to make acontrolled call 3072, the destination is checked in the control unit108, such one shown in FIG. 1, to determine if the call is permitted3090.

If the call is permitted 3092, the call is attempted 3080. If thecontrol unit determines that the call is not permitted, an announcementindicates that the destination has been denied 3094. After a call hasbeen denied 3094, or after an allowed phone call ends 3082, the user isprompted to indicate whether another call is to be made 3100.

If the user indicated that they would like to place another call, theyare prompted again to enter the type of call 3040, and the calltreatment follows as described above. If the caller indicates they donot want to place another call, the session ends. Alternatively, thecaller can cancel the session at any point, by placing the phone on thehook.

It will be understood to one skilled in the art that variations of thecall flow described above with reference to FIG. 7 may exist that fallwithin the principles of the present invention. Other features, to thecall flow may be incorporated. For example, the account may be debitedfor usage charges during the session at an appropriate interval. Inaddition, if the account balance is approaching $0, a “whisper”announcement may be provided to the caller to advise them of their lowaccount balance. If the balance goes below, the user may be disconnectedunder certain circumstances.

Referring again to FIG. 1, the functionality of control units 108 andassociated databases 110 may also be implemented as a softwareapplication within a remote client computer 126. Alternatively, onlycontrol unit 108 may be implemented within client computer 126 while itremotely accesses the prohibited and exempted destination lists withindatabase 110-3, located in a central administration facility.Furthermore, computer 126 may act as a remote interface to anymanagement unit 124. The lower cost implementation may be attractive tocertain clients that may not be concerned with the possible latency inaccessing database 110-3. In this scenario, client computer 126 acts asboth a connection unit and control unit by allowing or prohibiting acommunications connection between, for example, origin 104-6 anddestination 106-1 based on the prohibited destination lists within aninternal database, or within central database 110-3, or within anotherremote database. Computer 126, acting as a control unit, may alsocontrol the communications connection between origin 104-6 anddestination 106-5 which could be a Voice-over-IP (VoIP) connection.

As stated previously, notification messages need not be based on themediation rules and may originate from a notification unit 140, arelationship management system 142 such as a customer relationshipmanagement system (CRM), a control unit 108, or some other informationsystem 144.

It will be apparent to those of ordinary skill in the art that methodsinvolved in the present invention may be embodied in a computer programproduct that includes a computer usable medium. For example, such acomputer usable medium may consist of a read only memory device, such asa CD ROM disk or conventional ROM devices, or a random access memory,such as a hard drive device or a computer diskette, having a computerreadable program code stored thereon.

While this invention has been particularly shown and described withreferences to preferred embodiments thereof, it will be understood bythose skilled in the art that various changes in form and details may bemade therein without departing from the scope of the inventionencompassed by the appended claims.

For example, in the foregoing description of the invention and variousembodiments thereof, the term “communications connection” is intended toinclude circuit-switched communications, packet-switched communications,communications using connectionless protocols such as IP, virtualcircuit, or another electronic communications between an origin anddestination.

1. A method of providing call compliance, the method comprising:receiving at a connection unit a call from a caller on an incomingconnection of the connection unit; receiving an authentication numberfrom the caller on the incoming connection; verifying at a computerserver the authentication number against an account database to evaluatecorresponding account information; enabling at the computer server thecaller on the incoming connection to initiate an outgoing call on anoutgoing connection based on the account information; receiving over theincoming connection an identifier of a destination to which a call is tobe initiated over the outgoing connection; providing at the computerserver call compliance treatment to the outgoing call to thedestination; and updating at the computer server the account informationbased on the outgoing call.
 2. The method of claim 1 wherein theauthentication number is a pre-registered ANI.
 3. The method of claim 1wherein the authentication number is an account number and acorresponding PIN.
 4. The method of claim 1 wherein the call compliancetreatment comprises: checking a do-not-call database for an indicationof whether the destination is a do-not-call destination; if it isdetermined that the destination is a do-not-call destination, blockingthe outgoing call from taking place over the outgoing connection; and ifit is determined that the destination is not a do-not-call destination,allowing the outgoing call to take place over the outgoing connection.5. The method of claim 4, wherein the call compliance treatment occursat a central switching facility or a distributed access facility.
 6. Themethod of claim 1, wherein receiving said call includes receiving atelephone call from the caller.
 7. The method of claim 4, wherein theidentifier is a telephone number of the destination.
 8. The method ofclaim 7, wherein checking the do-not-call database for an indication ofwhether the destination is a do-not-call destination includesdetermining whether the called telephone number is present in thedo-not-call database and if present, treating the destination as ado-not-call destination.
 9. The method of claim 4, further comprising,if it is determined that the destination is not a do-not-calldestination and after allowing the call to take place, monitoring thecall for an occurrence of an update signal.
 10. The method of claim 9,further comprising, if it is determined that the destination is not ado-not-call destination and after allowing the call to take place,monitoring the call for an occurrence of an update signal from thecaller, said update signal being an indication to identify saiddestination as a do-not-call destination in said database.
 11. Themethod of claim 10, further comprising, if it is determined that thedestination is not a do-not-call destination and after allowing the callto take place, detecting an update signal from the caller and inresponse to detecting said update signal, identifying said destinationas a do-not-call destination in said database.
 12. The method of claim4, wherein the incoming connection is a 1-800 line, a local accessnumber or any other means of access.
 13. The method of claim 4, furthercomprising: enabling the caller on the incoming connection to initiate anext outgoing call; receiving over the incoming connection a nextidentifier of a next destination to which the next outgoing call is tobe initiated; checking the do-not-call database for an indication ofwhether the next destination is a do-not-call destination; if it isdetermined that the next destination is a do-not-call destination,blocking the outgoing call from taking place; and if it is determinedthat the next destination is not a do-not-call destination, allowing theoutgoing call to take place.
 14. The method of claim 1, furthercomprising charging fees to the account based on the length of theincoming or outgoing call or both.
 15. The method of claim 1, whereinreceiving an identification number from the caller further comprisesreceiving an indication to exempt an outgoing call from call compliancetreatment.
 16. The method of claim 15, further comprising charging feesto the account based on a combination of any of a periodic maintenancefee, the call treatment, length of the incoming call and length of theoutgoing call.
 17. The method of claim 1 further comprising providingany of a web based interface, live operator, and mail to activate anaccount and its corresponding account number.
 18. A method ofimplementing call compliance at a central facility, said methodcomprising: receiving at a connection unit a call from a caller on anincoming connection of the connection unit; receiving an authenticationnumber from the caller on the incoming connection; verifying at acomputer server the authentication number against an account database todetermine whether a corresponding account is active; enabling at thecomputer server the caller on the incoming connection to initiate aplurality of outgoing calls from the central facility if the account isactive; receiving over the incoming connection a plurality ofidentifiers of destinations to which calls are to be initiated from thecentral facility; at the computer server, for each of the plurality ofidentifiers: (1) checking a do-not-call database for an indication ofwhether the destination for that received identifier is a do-not-calldestination; (2) if it is determined that the destination for thatreceived identifier is a do-not-call destination, blocking the outgoingcall from taking place; and (3) if it is determined that the destinationfor that received identifier is not a do-not-call destination, allowingthe outgoing call to take place over the outgoing connection.
 19. Asystem for providing call compliance, said system comprising: aconnection unit having an incoming connection and an outgoingconnection, the incoming connection capable of receiving a call into thesystem, receiving an authentication number from a caller, and receivingan identifier of a destination to which a call is to be initiated, theoutgoing connection capable of initiating the call to the destination;an account database containing account information; a computer serverfor verifying the authentication number against the account database toevaluate corresponding account information, for determining whether thecaller on the incoming connection can initiate an outgoing call,updating account information based on the outgoing call and forproviding call compliance treatment to the outgoing call to thedestination.
 20. The system of claim 19 wherein the authenticationnumber is a pre-registered ANI.
 21. The system of claim 19 wherein theauthentication number is an account number and a corresponding PIN. 22.The system of claim 19 wherein the computer server provides callcompliance treatment by: checking a do-not-call database for anindication of whether the destination is a do-not-call destination; ifit is determined that the destination is a do-not-call destination,blocking the outgoing call from taking place over the outgoingconnection; and if it is determined that the destination is not ado-not-call destination, allowing the outgoing call to take place overthe outgoing connection.
 23. The system of claim 22, wherein the callcompliance treatment occurs at a central switching facility or adistributed access facility.
 24. The system of claim 19, whereinreceiving said call involves receiving a telephone call from the caller.25. The system of claim 22, wherein the identifier is a telephone numberof the destination.
 26. The system of claim 25, wherein checking thedo-not-call database for an indication of whether the destination is ado-not-call destination includes determining whether the calledtelephone number is present in the do-not-call database and if present,treating the destination as a do-not-call destination.
 27. The system ofclaim 22, wherein the call compliance treatment further comprises: if itis determined that the destination is not a do-not-call destination andafter allowing the call to take place, monitoring the call for anoccurrence of an update signal.
 28. The system of claim 27, wherein thecall compliance treatment further comprises: if it is determined thatthe destination is not a do-not-call destination and after allowing thecall to take place, monitoring the call for an occurrence of an updatesignal from the caller, said update signal being an indication toidentify said destination as a do-not-call destination in said database.29. The system of claim 28, wherein the call compliance treatmentfurther comprises: if it is determined that the destination is not ado-not-call destination and after allowing the call to take place,detecting an update signal from the caller and in response to detectingsaid update signal identifying said destination as a do-not-calldestination in said database.
 30. The system of claim 22, wherein theincoming connection is a 1-800 line, a local access number or any othermeans of access.
 31. The system of claim 19, wherein the computer serveris further capable of charging fees to an account based on the length ofthe incoming or outgoing call or both.
 32. The system of claim 19,wherein the connection unit is further capable of receiving anindication to exempt an outgoing call from call compliance treatment.33. The system of claim 32, wherein the computer server is furthercapable of charging fees to the account based on a combination of any ofa periodic maintenance fee, the call treatment, length of the incomingcall and length of the outgoing call.
 34. The system of claim 19 furthercomprising any of a web based interface, live operator, and mail toactivate an account and its corresponding account number.
 35. A systemfor providing call compliance, said system comprising: a connection unithaving an incoming connection and an outgoing connection, the incomingconnection capable of receiving a call into the system, receiving anauthentication number from a caller, and receiving an identifier of adestination to which a call is to be initiated, the outgoing connectioncapable of initiating the call to the destination; an account databasecontaining account information; a computer server for verifying theauthentication number against the account database to evaluatecorresponding account information, for determining whether the caller onthe incoming connection can to initiate an outgoing call, updatingaccount information based on the outgoing call; and for providing callcompliance treatment to the outgoing call to the destination by: (i)checking a do-not-call database for an indication of whether thedestination is a do-not-call destination; (ii) if it is determined thatthe destination is a do-not-call destination, blocking the outgoing callfrom taking place over the outgoing connection; and (iii) if it isdetermined that the destination is not a do-not-call destination,allowing the outgoing call to take place over the outgoing connection.36. A computer program product comprising a non-transitory computerreadable medium having computer readable program codes for execution bya processor to perform functions, the functions comprising: receiving acall from a caller on an incoming connection; receiving anauthentication number from the caller on the incoming connection;verifying the authentication number against an account database toevaluate corresponding account information; enabling the caller on theincoming connection to initiate an outgoing call on an outgoingconnection based on account information; receiving over the incomingconnection an identifier of a destination to which a call is to beinitiated over the outgoing connection; providing call compliancetreatment to the outgoing call to the destination; and updating accountinformation based on the outgoing call.